Skip to main content

Filing a Form 4

A
Written by Alexander Tomascak
Updated over 2 months ago

Starting a Draft Filing

Once your transaction creation is complete, start a Form 4. There are a few ways to start a Form 4 filing.

1. Click the Filing is due: Form 4 hyperlink in the Work Items panel on the home page.

2. Go to the Insider Ledger and Click ‘Quick Add’ > Form 4.

3. From the Home Page click ‘Quick Add’ > Form 4 > Select the Insider you wish to file for.

A screenshot of a computer

Description automatically generated

Attaching Transactions

Once in the Filing Wizard filers can add transactions to the filing.

• Click the checkbox next to “date” to add all transactions to the filing or check the transactions in the order desired to appear.

• Click “+” next to “add transactions” to add a new transaction to the filing.

• NOTE: You can save the draft at any time by clicking Save Draft. Click the “No” button to continue working or “Yes” to close the wizard.

Click Next > to advance

A screenshot of a computer

Description automatically generated

Attaching Holdings

The Holdings screen allows users to add any additional holdings to the filing.

• If you wish to add any additional Holdings check the box next to the holding.

A screenshot of a computer

Description automatically generated

Attaching Footnotes

Footnotes can be added at any time by clicking the Edit Footnotes button.

• Click on any yellow box to attach a footnote.

• Type the footnote into the text box or select a saved footnote from the drop down then click Save > Back > Apply to form.

Footnotes number in sequential order. To renumber footnotes, drag and drop in the correct order.

• Click apply to attach the footnotes. Click Next > to advance.

Attaching a Signature

This page allows a filer to add the desired signature to the filing.

• If the desired signature has been stored, click the Radio Button next to it.

• If a new signature is needed, Click the “+” icon > Type the desired signature > Check the Apply to

All Insiders if necessary > Click Add.

Click Next > to proceed

A screenshot of a computer

Description automatically generated

Attaching a Document & Email Recipient

This page allows a filer to add EDGAR filing notification recipients and attach any necessary documentation.

• Click the “+” icon next to “Add Attachment” to add a Power of Attorney or any other necessary

attachments. Select the document type from the drop down and browse your PC for the correct file.

NOTE: The SEC only accepts plain text (.txt) or HTML (.HTML) files.

• Check the box next to your attachments if necessary.

• Check the box next to any person needing an email notification of filing.

• Click the “+” icon next to “Add Point of Contact” to add a new email recipient.

Click Finish > to advance.

A screenshot of a computer

Description automatically generated

Form Submission

Select the type of filing to submit (Live or Test). A test filing will alert a user of potential form violations.

• Click “Print” to print/download a form with a blank signature line.

Click Submit > to submit the filing

Did this answer your question?